Results

In July 2019, a FINRA arbitration panel in San Juan, PR ordered UBS Financial Services and UBS Financial Services of Puerto Rico to pay $4,813,161 in capital losses calculated from February 2013 through March 2019 and $67,969 in expert costs. You can read the award here. Dr. O'Neal testified on liability and damages over UBS Puerto Rico's sale of UBS Puerto Rico municipal closed end bond funds and Puerto Rican municipal bonds.